. The SEC, Thailand cannot undertake any responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. ------------------------- Notification of the

misappropriated the client's subscription cash payment of 500,000 baht for his own use. He then ordered his subordinate to transfer units of another mutual fund held by the same client into the solicited fund by

the transfer of such securities to the account; but found out that such securities were all transferred and sold by such client. {A} then asked other two friends, who were clients of other securities

-2741-5700-5/Fax 0-2741-6878 / Company Tax ID : 0107545000021 No. 7UP 015/62 April 9, 2019 Subject : Notification for Resolution of Board of Director's Meeting No. 3/2019 regarding the Acquisition and

) Plc., committed dishonest acts during 2006-2008. She deceived a foreign investor into affixing his signature on a blank securities withdrawal/transfer form, claiming that the client could not receive

The SEC has ordered Zipmex, by virtue of Clause 13/1(3) of the said Notification, to take steps towards meeting the minimum net capital requirements, taking into account clients’ best interest as

companies from accepting orders of purchase, transfer or exchange of securities that would result in Thai investors gaining more possessions of NVDR unless in the case where the rights arise from holding NVDR

, for example, direct transfer to the service provider’s account or electronic payment receipt channel. In any case, temporary payment receipt slip must be kept as evidence every time a payment is made

trading decisions on the client's behalf from June 2009 until April 2011.  Furthermore, she asked the client to sign the application of the securities transfer despite the amount of the client's securities

BS15, shareholder’s loan granted by the Seller on the share transfer completion date and remaining cash on the share transfer date) Shareholding structure after the completion of shares purchase: The